AdvisorCensus / Financial advisors / Texas / Austin / SWBC Investment Advisory Services LLC
SWBC Investment Advisory Services LLC
Filed as SWBC INVESTMENT ADVISORY SERVICES LLC
SWBC Investment Advisory Services LLC is an SEC-registered investment advisory firm in Austin, TX, registered since 2011, with no regulatory assets under management reported in its Form ADV filing dated September 3, 2026.
Quick answers
From the filingHow is SWBC Investment Advisory Services LLC compensated?
On its Form ADV (Item 5.E, October 2026), SWBC Investment Advisory Services LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).
How much does SWBC Investment Advisory Services LLC charge?
Its Form ADV Part 2A brochure dated March 24, 2026 states: Flat fee: $25,000 to $250,000 a year (services). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is SWBC Investment Advisory Services LLC located?
SWBC Investment Advisory Services LLC's principal office is in Austin, TX, according to its Form ADV.
Is SWBC Investment Advisory Services LLC registered with the SEC or a state?
SWBC Investment Advisory Services LLC is an SEC-registered investment advisory firm, registered since 2011. Status as filed: Approved. CRD 156155.
How have SWBC Investment Advisory Services LLC's assets and staff changed since 2021?
In the Form ADV data for SWBC Investment Advisory Services LLC: Total employees: 8 in October 2021 and 9 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does SWBC Investment Advisory Services LLC serve?
By number of clients on Form ADV Item 5.D: pension and profit sharing plans (but not the plan participants or government pension plans) (2,111).
Does SWBC Investment Advisory Services LLC report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/156155
What changed in SWBC Investment Advisory Services LLC's recent Form ADV filings?
In the October 2026 filing data: Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AFlat fee: $25,000 to $250,000 a year (services)
The brochure's wording
Fixed fees generally range from $25,000.00 to $250,000.00 on an annual basis, depending upon the level and scope of the services required.
As stated in the firm's Form ADV Part 2A brochure dated March 24, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.FNot reported.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Pension consulting services
- Educational seminars/workshops
Registration and firm details
Items 1, 2, 5- Also doing business as
- SWBC RETIREMENT PLAN SERVICES
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2011 (15 years)
- Employees
- Total: 9. Performing investment advisory functions: 6.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
2 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | Not reported | 9 | September 3, 2026 |
| October 2025 | Not reported | 9 | July 23, 2025 |
| October 2024 | Not reported | 9 | March 26, 2024 |
| October 2023 | Not reported | 8 | March 28, 2023 |
| October 2022 | Not reported | 9 | February 25, 2022 |
| October 2021 | Not reported | 8 | March 19, 2021 |
Total employees: 8 in October 2021 and 9 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- October 2026
- Updated its list of owners and control persons (Schedule A).
- April 2026
- Employees performing advisory functions went from 7 to 6.
- December 2025
- Registered or notice-filed in NE.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. SWBC Investment Advisory Services LLC (CRD 156155): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/swbc-investment-advisory-services-llc-austin-tx-156155